Associate Compliance Officer

The Associate Compliance Officer will be part of our growing institutional broker-dealer. This role is critical to the company’s vision and core values. The associate will assist the Chief Compliance Officer in overseeing the compliance strategy for the broker-dealer businesses. The candidate will collaborate with different departments of the broker-dealer to facilitate the compliance structure of the organization.

Job Responsibilities

• Work with the Chief Compliance Officer to develop and implement the compliance program for the broker-dealer compliance structure.
• Perform risk assessments, monitoring and surveillance activities, and project management to ensure that the compliance program remains current and aligned with regulatory rules and procedures.
• Work closely with all other departments of the broker-dealer.
• Perform ongoing validation of monitoring strategies to ensure appropriate governance and control.
• Execute appropriate reviews and programs commensurate with regulatory expectations.
• Prepare complete, accurate documentation of compliance monitoring and surveillance activities.
• Report findings to the Chief Compliance Officer and provide timely follow-up on outstanding issues.
• Perform other duties as required by the CCO.
• Follow legal policies as directed.

Job Requirements

• 3-5 years of experience in a compliance role.
• Understanding of both the equity markets and equity derivatives market from an operational and trading viewpoint.
• Strong people and organizational skills.
• Demonstrated ability to delegate, hold people accountable for performance, lead, motivate, and influence others both up and down the organization.
• Ability to make tough decisions regarding personnel and to implement best performance management processes.
• Excellent communication and negotiation skills.
• Outstanding leadership skills and operating experience.
• Ability to work efficiently under pressure.
• Exceptional, thought-provoking team player.
• Keeping current with rules and regulations.
• Proficient in Word and Excel.
• Strong writing skills.

Certifications

• FINRA Licenses: Series 7, 63, and 24 required.

Education

• Bachelor’s Degree required.

Physical Requirements

This position requires you to sit, stand, and perform general office functions. Bending, stooping, and reaching are also frequently required.

Equal Employment Opportunity

It is our policy to provide equal employment opportunity for all applicants and associates. This policy includes our commitment to ensuring that all employment decisions are made without regard to race, color, religion, gender, national origin, disability, pregnancy, veteran status (including Vietnam-era veterans), age, sexual orientation, gender identity, or any other non-job-related characteristic protected by law.